ComplianceAsia assists firms implementing manual and automated solutions for detecting, tracking, monitoring and recording compliance obligations and breaches to give confidence to senior management that the firm has control of legal, regulatory and compliance risks associated with:

• Pre-trade compliance
• Post-trade compliance
• Dealing restrictions
• Soft Dollars and Directed Brokerage
• Short Selling
• Breaches of client restrictions
• Errors
• Client Complaints
• Conflicts of Interest
• Chinese Wall Crossings
• Proxy Voting
• Class Actions
• Substantial Shareholdings
• Staff Trading